FINRA disciplinary action update 2024/45
Disciplinary decisions issued November 16 – 22, 2024.
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Former securities representative barred for allegedly refusing to appear for on-the-record testimony
FINRA Rule 2010FINRA Rule 8210CUNA Brokerage Services censured and fined for inadvertently deleting retail customer records
The records were deleted as part of a transition of the business from providing services to retail customers.
They contained information
Compliance, Enforcement, FINRA, FINRA Rule 2010, FINRA Rule 3110, FINRA Rule 3260, FINRA Rule 3270.01, FINRA Rule 3310, FINRA Rule 4511, FINRA Rule 8210, Industry, MSRB Rule G-11, MSRB Rule G-17, MSRB Rule G-27, SA 1933 Rule 17(a), SEA 1934 Rule 17a-4, SEA 1934 Rule 605, SEA 1934 Rule 606, SEC Reg NMS, SEC Reg NMS Rule 605, SEC Reg NMS Rule 606, US Content